DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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SEC-registered adviser
E••••••••• I•••
Latest filing Jun 12, 2026
First filing on the tape Jan 27, 2012 · 33 filings
SEC status approved since Jul 5, 2019
RAUM
$481M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
92%
$443M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$96.1M
derived; firm RAUM over IAPD count
Employees
11
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$481M as of Jun 12, 2026
Mar 22, 2012$51.8M then
HNW client RAUM$392M as of Jun 12, 2026
Mar 13, 2020$93.5M then
State-registered IARs (5.B.3)4 as of Jun 12, 2026
Mar 13, 20204 then
Employees (5.A)11 as of Jun 12, 2026
Mar 13, 20205 then
Private funds: no history
RAUM +23% over the last fiscal year+36% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Jun 12, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $96.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 57derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $447,160derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 5.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.2derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +23%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.3%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisers, publications, educational seminarsreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- $181M, 153 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$392M82%
- Individuals$51.0M11%
- Pension and profit-sharing plans$18.4M3.8%
- Corporations and businesses$11.6M2.4%
- Charitable organizations$7.4M1.5%
- Individual clients
- 142reported
- HNW clients
- 143reported
- Pension plan clients
- 2reported
- Charitable clients
- 5reported
- Accounts
- 1,075reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- $0 sponsored, $1.9M managedreported
- Custody of client assets
- $181M for 153 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.92 fund_share=0.0 institutional_share=0.05 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••••• R•••• K••••••Personal Financial Specialist | Phoenix, Az | Nov 1, 1999 | 34 y | 2 |
| M••• T• G•••••••Certified Financial Planner | Phoenix, Az | May 22, 2012 | 16 y | 2 |
| N••••• B••••••••Certified Financial Planner | Phoenix, Az | Oct 25, 2021 | 10 y | 2 |
| B•••• A••••• H••••Chartered Financial Consultant | Phoenix, Az | Mar 10, 2023 | 12 y | 2 |
| L•••• O•••• | Phoenix, Az | May 19, 2026 | 13 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- B•••• A••••• H•••• from J•••••• W••••• M••••••••• L••Mar 10, 2023 · RIA to RIA
- N••••• B•••••••• from E•••••• F•••••••• E••••••Oct 25, 2021 · RIA to RIA
- M••• T• G••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••May 22, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G•••••••• M•••• T• · Partner And Chief Compliance Officercontrolsince 01/2015 · owns 50% to 75%
- K••••••• R•••••• R•••• · Partnercontrolsince 10/1999 · owns 10% to 25%
- S••••••••• S••••• · Tax Partnersince 01/2023 · owns 10% to 25%
Related persons
Schedule D 7.A
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Phoenix, Az · principal | 5 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 967 to 1,075Mar 7, 2025 to Mar 6, 2026
- Advisory activities · 7 to 6Mar 7, 2025 to Mar 6, 2026
- Charity clients · 3 to 5Mar 7, 2025 to Mar 6, 2026
- Corporate clients · 17 to 19Mar 7, 2025 to Mar 6, 2026
- HNW clients · 146 to 143Mar 7, 2025 to Mar 6, 2026
- Individual clients · 130 to 142Mar 7, 2025 to Mar 6, 2026
- Assets in custody · $43.8M to $181MMar 7, 2025 to Mar 6, 2026
- Employees · 10 to 11Mar 7, 2025 to Mar 6, 2026
- Discretionary RAUM · $392M to $481MMar 7, 2025 to Mar 6, 2026
- HNW RAUM · $332M to $392MMar 7, 2025 to Mar 6, 2026
- Individual RAUM · $40.1M to $51.0MMar 7, 2025 to Mar 6, 2026
- Pension RAUM · $6.5M to $18.4MMar 7, 2025 to Mar 6, 2026
- RAUM · $392M to $481MMar 7, 2025 to Mar 6, 2026
- Wrap assets (manager) · $1.9M to $1.9MMar 7, 2025 to Mar 6, 2026
- Accounts · 878 to 967Oct 16, 2024 to Mar 7, 2025
- Advisory activities · 6 to 7Oct 16, 2024 to Mar 7, 2025
- Charity clients · 5 to 3Oct 16, 2024 to Mar 7, 2025
- Corporate clients · 8 to 17Oct 16, 2024 to Mar 7, 2025
- HNW clients · 127 to 146Oct 16, 2024 to Mar 7, 2025
- Individual clients · 124 to 130Oct 16, 2024 to Mar 7, 2025
- Pension plan clients · 3 to 2Oct 16, 2024 to Mar 7, 2025
- Assets in custody · unset to 43825910.0Oct 16, 2024 to Mar 7, 2025
- Custody of client assets · false to trueOct 16, 2024 to Mar 7, 2025
- Financial planning clients · 251-500 to 251-500Oct 16, 2024 to Mar 7, 2025
- Discretionary RAUM · $320M to $392MOct 16, 2024 to Mar 7, 2025
- HNW RAUM · $273M to $332MOct 16, 2024 to Mar 7, 2025
- Individual RAUM · $34.6M to $40.1MOct 16, 2024 to Mar 7, 2025
- Pension RAUM · $5.7M to $6.5MOct 16, 2024 to Mar 7, 2025
- RAUM · $320M to $392MOct 16, 2024 to Mar 7, 2025
- Wrap assets (manager) · $1.6M to $1.9MOct 16, 2024 to Mar 7, 2025
- Insurance-licensed employees · 4 to 1May 14, 2024 to Sep 6, 2024
- Accounts · 815 to 878Sep 1, 2023 to Mar 19, 2024
- Charity clients · 4 to 5Sep 1, 2023 to Mar 19, 2024
- Corporate clients · 2 to 8Sep 1, 2023 to Mar 19, 2024
- HNW clients · 112 to 127Sep 1, 2023 to Mar 19, 2024
- Individual clients · 113 to 124Sep 1, 2023 to Mar 19, 2024
- Pension plan clients · 0 to 3Sep 1, 2023 to Mar 19, 2024
- Financial planning clients · 101-250 to 251-500Sep 1, 2023 to Mar 19, 2024
- Discretionary RAUM · $190M to $320MSep 1, 2023 to Mar 19, 2024
- HNW RAUM · $156M to $273MSep 1, 2023 to Mar 19, 2024
Signals
3 dated events
- E••••••••• I••• reported RAUM $319.9M, up 68% from $190.1M (2023-09-01 to 2024-03-19)Mar 19, 2024 · RAUM change · derived
- T Marc Giannone (Partner And Chief Compliance Officer) appeared on Schedule A of E••••••••• I•••May 31, 2019 · Control person joined · fact
- E••••••••• I••• filed its initial SEC registration (Form ADV)May 31, 2019 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business email
- wealth@eatoncambridge.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 480-385-7399reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/eaton-cambridge-inc-reportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (480) 385-7399reportedpublic record, Form ADV, Jun 12, 2026
- Team page
- eatoncambridge.com/peoplereportedpublished by the firm, firm site, Sep 17, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $96.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026